Compliance and Regulatory in the Financial Sector

Our Compliance and Fiancial Sector Regulatory Law team provides client-based solutions in an increasingly regulated and complex environment.

Regulatory/cross border

DSM has significant experience interfacing with Luxembourg’s financial sector regulator, the CSSF (Commission de Surveillance du Secteur Financier), in all regulatory and licensing matters. Guiding clients through the complex regulatory process, we secure authorisations for financial institutions and the full range of licensed financial professionals (PSF), such as asset managers and alternative investment fund managers, as well as licensed hedge funds, real estate funds, private equity funds, and funds of funds. We also advise on the provision of banking services in Luxembourg by banks authorised in other EU/EEA Member States as well as outside of the EU/EEA. Moreover, we assist clients as investors, both professional and private, in all matters related to their business relationship with banks or professionals of the financial sector.

Compliance

In addition to AML/CFT issues (see below), we advise on matters such as investor protection (MIFID), financial professional ethics, codes of conduct and market abuse. Issues related to corporate governance are also within this practice area.

Anti-money laundering and counter-terrorism financing

We advise banks and other professionals of the financial sector on their anti-money laundering/counter-terrorism financing (AML/FT) obligations. These obligations include KYC/due diligence duties as well as the many duties related to their obligation to report suspicious transactions, monitor client transactions and provide high quality internal procedures or client documentation.

DSM provides advice and support in crisis management situations with which banks and professionals of the financial sector may be faced in respect of any of their AML/CFT obligations. Our team is experienced in training clients in the various regulatory regimes to which they are subject. Training can range from on-site sessions at a client’s office to off-site sessions targeting a multitude of sectors including insurance, professionals of the financial sector and entities dealing with financial arrangements such as ‘fiducies’, trusts and offshore entities.

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